Please see the attached link for our SEC investigation and litigation discussion webinar and please join us for our next webinar on securities litigation:

https://securitiescompliancesentinel.foxrothschild.com/securities-litigation/securities-sit-down-sec-investigations-and-litigation/
Continue Reading Fox Rothschild’s Securities Webinar Series Kicks Off with SEC Discussion

Fox Rothschild’s Securities Industry Group is pleased to announce its publication of an interactive Survey of State Blue Sky Filing Requirements.   SI Group members, A. Binford Minter and Jennifer M.
Continue Reading Fox Rothschild’s Securities Industry Group’s New Interactive Survey of State Blue Sky Filing Requirements Facilitates Rule 506, Regulation A+ Securities Compliance

We were recently reminded of how difficult it is to re-register for a position in the securities industry after being barred.  See https://www.sec.gov/litigation/admin/2021/ia-5682.pdf.

On February 9, 2021, the United States
Continue Reading Leaving is the Hardest Part Especially if You Want to Re-Enter the Securities Industry